DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Registered advisor
L•••• R• A•••••••
Feed of 09/14/2026
Also filed as L•••• A•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Jan 31, 2004 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Mar 31, 2025 · Schaumburg, Il
- J••• M••••• S••••••••• L•• wirehouseAug 16, 2023 to Mar 25, 2025 · Elmhurst, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 14, 2021 to Aug 2, 2023 · Naperville, Il
- U••• B•••••• I••••••••• I••• formerJun 18, 2021 to Nov 12, 2021 · Rolling Meadows, Il
- L•• F•••••••• L•• BD affiliatedNov 11, 2020 to Jul 6, 2021 · Downers Grove, Il
- A••••• A•• P••••••• S••••••• BD affiliatedApr 24, 2013 to Nov 13, 2020 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseNov 29, 2011 to May 15, 2012 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerAug 8, 2011 to Nov 29, 2011 · Woodridge, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Aug 10, 2011 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedJan 11, 2007 to Oct 1, 2008 · Chicago, Il
- P•••• S••••••••• L•• no RAUMMay 10, 2005 to Mar 27, 2006 · Downers Grove, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 25, 2025, registered Mar 31, 2025 (6 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Aug 2, 2023, registered Aug 16, 2023 (14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- U••• B•••••• I••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 12, 2021, registered Dec 14, 2021 (32 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Jul 6, 2021, registered Jun 18, 2021 (-18 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Nov 13, 2020, registered Nov 11, 2020 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left May 15, 2012, registered Apr 24, 2013 (344 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Nov 29, 2011, registered Nov 29, 2011 (0 days) · Other
- J••• M••••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 10, 2011, registered Aug 8, 2011 (-2 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to J••• M••••• S••••••••• I•••left Mar 27, 2006, registered Jan 11, 2007 (290 days) · Other
Signals
- L•••• R• A••••••• left J••• M••••• S••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-03-31)Mar 25, 2025 · Advisor changed firm · fact
- L•••• R• A••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-08-16)Aug 2, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address